RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
R••••• J••• L•••••
- T••••••••• C•••••• L•• independent RIA currentsince Jan 1, 2025 · Sarasota, Fl
- T••••••••• C•••••• L•• formerFeb 2, 2009 to Mar 13, 2018 · Sarasota, Fl
- F••••• F•••••••• S••••••••• I••• unclassifiedMay 8, 2007 to Nov 17, 2008 · Sarasota, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 13, 2007 to Jan 28, 2009 · Sarasota, Fl
- R•••••• J•••• • A••••••••• I••• national BDJan 31, 2006 to Feb 20, 2007 · Sarasota, Fl
- C•••••• S••••• • C••• I••• national BDFeb 20, 2003 to Dec 7, 2005 · Sarasota, Fl
- T••••••••• C•••••• L•• to T••••••••• C•••••• L••left Mar 13, 2018, registered Jan 1, 2025 (2486 days) · channel change inside one enterprise, not a move · moved with a team
- R•••••• J•••• F•••••••• S•••••••• I••• to F••••• F•••••••• S••••••••• I•••left Jan 28, 2009, registered May 8, 2007 (-631 days) · Other
- F••••• F•••••••• S••••••••• I••• to T••••••••• C•••••• L••left Nov 17, 2008, registered Feb 2, 2009 (77 days) · Other
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Feb 20, 2007, registered Mar 13, 2007 (21 days) · Other
- C•••••• S••••• • C••• I••• to R•••••• J•••• • A••••••••• I•••left Dec 7, 2005, registered Jan 31, 2006 (55 days) · Affiliated broker-dealer or bank to another
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address